NEPOOL GIS User Guide

Transcription

1 NEPOOL GIS User Guide The New England Power Pool Generation Information System (NEPOOL GIS) issues and tracks certificates for all MWh of generation and load produced in the ISO New England control area, as well as imported MWh from adjacent control areas. In addition to the generation, the NEPOOL GIS provides emissions labeling for the New England load serving entities by tracking the emissions attributes for generators in the region. In recent years the NEPOOL GIS has adapted to the various state RPS laws to track combined heat and power, demand response and conservation and load management certificates. This User Guide outlines the steps for how to: Navigate GIS user interface Register GIS accounts Register GIS projects Upload generation data Transfer RECs Retire RECs Manage Forward Certificate Transfers Transfer RECs to the Bulletin Board Navigate Reports Generator/Load Asset Redirect 1 NEPOOL GIS User Guide

2 NEPOOL GIS User Interface Navigation This section outlines the steps for how to navigate the GIS User Interface and focuses on the following areas: Navigate the Menu Bar and Account Dashboard Customize Account Dashboard Manage Account Logins (for GIS-Specific Contact) Update Login Password A. Navigate Menu Bar and Account Dashboard GIS Menu Bar 1. In the GIS Account Dashboard, locate the Menu Bar on the top right of the GIS screen. 2. User can access one of the following NEPOOL GIS options from the Menu Bar: a. Home (1) Takes User to Account Dashboard screen b. Transfer (2) Takes User to the Transfer screen to initiate Certificate transfers c. Reports (3) Allows User to select and view specific NEPOOL GIS Reports i. Public Reports ii. Account Holder Reports iii. State Regulator Reports d. Registry Help (4) Displays GIS Administrator contact information e. My Options (5) Allows User to select from other GIS options i. Customize Dashboard ii. Change Password iii. Logout 2 NEPOOL GIS User Guide

3 GIS Account Dashboard In the GIS Account Dashboard, User can access various modules to access specific account management tools and reports. The modules displayed under the Account Dashboard are based on account type. 1. The left column displays the following modules: a. Registration b. Account Management c. Account Information d. Inbox e. Outbox 3 NEPOOL GIS User Guide

4 2. The right column displays the following modules: a. Import b. Account Status c. Export d. Message Notification e. Asset Management f. My Attached Document g. Forward Certificate Inbox h. Meter Setup 4 NEPOOL GIS User Guide

5 B. Customize Account Dashboard The NEPOOL GIS Account Dashboard can be customized to move, add, or remove modules from a User's Account Dashboard. 1. In the Account Dashboard, click on the My Options icon on the menu bar at the top right and click on the Customize Dashboard link. 2. In the Display Modules section of the screen, check or uncheck the modules that are displayed on the User's Account Dashboard. 5 NEPOOL GIS User Guide

6 3. In the Module Order section of the screen, User can reorder how modules are displayed in the Account Dashboard by clicking the arrows to reorder the modules. 4. Click the Save button to save the changes to the Account Dashboard. Note: Modules can only be reordered within the columns and cannot be moved from left to right or right to left. 6 NEPOOL GIS User Guide

7 C. Manage Account Logins The GIS-Specific Contact (Account Manager) for a GIS account manages Logins for all users in their account. The GIS-Specific Contact can add new logins, edit existing logins, and deactivate logins from their account. Add New Logins 1. In the Account Dashboard, go to the Account Management module and click the Login Management hyperlink as shown below: 2. In the Account Management screen, click the new button. 3. In the Login Information screen, enter data into the fields on the form and designate login privilege for additional users. a. Privilege Description b. Account Holder User is permitted to register projects and manage certificates. c. Account Holder - View Only User is only permitted to view account reports. 7 NEPOOL GIS User Guide

8 4. Click the OK button to create the new login. Note: New users will be prompted to change the password after initial login after logging in with the password provided by the GIS-Specific Contact. 8 NEPOOL GIS User Guide

9 Deactivate Login 1. In the Account Dashboard, go to the Account Management module and clicks the Login Management hyperlink as shown below: 2. In the Login Management, click the Edit hyperlink for a login. 3. In the Login Information screen, uncheck the Active checkbox. 9 NEPOOL GIS User Guide

10 4. Click the OK button to deactivate login. 10 NEPOOL GIS User Guide

11 D. Change Password The User can change their login password in GIS Account Dashboard. 1. In the Account Dashboard, click on the My Options icon on the menu bar at the top right and click on the Change Password link. 2. In the Password Change screen, enter password in all the fields on the Password Change screen. 3. Click the Change button to change the password for the Login Name. 11 NEPOOL GIS User Guide

12 12 NEPOOL GIS User Guide

13 NEPOOL GIS Account Registration Account Registration is the first step to participate in NEPOOL GIS (GIS). Users must have an approved GIS account before registering assets and managing certificates in GIS. The Account Registration process for both NEPOOL Members and Non-NEPOOL Members is the same; however, the GIS requires some additional information for NEPOOL Members in the account registration process. This section outlines the steps for how to register a new GIS Account and focuses on the following areas: Account Registration Process Overview Account Types Register New Account Activate Account A. Account Registration Process Overview Below is the Account Registration process overview: Account Registration Go to GIS website Register a GIS Account(s) Account Approval GIS Admin will review account registration for validity. If the account is approved, GIS account will be available for login. Account Access Account Management Register Asset(s) 13 NEPOOL GIS User Guide

14 B. Account Types Below are the different GIS Account Types and functionality available for each account type: Load Serving Entity (LSE) o Ability to manage load assets and corresponding load obligation certificates o Can register new and manage existing generating assets o Can send and receive certificates o Can retire certificates in retail sub-account (RPS compliance purposes) o Can execute reserved transactions (general purpose retirements) Generator o Ability to register new and manage existing generating assets o Can send and receive certificates o Can execute reserved transactions (general purpose retirements) o Residential homeowners and solar companies often apply for this account however, it is not limited to those individuals or groups. Trader o Ability to register new and manage existing generating assets o Can execute reserved transactions (general purpose retirements) Independent Verifer o Ability to upload generation data for GIS projects C. Register New Account NEPOOL Member To Register a new NEPOOL Member GIS account, User takes the following steps: 1. Go to 2. Under the Registry Login box, click the Register button as shown below: 14 NEPOOL GIS User Guide

15 3. In the New Account Application page, enter data into all fields denoted with an asterisk. a. Account Type: Select the account type checkbox(es) (See Section B for more information) b. NEPOOL Member: Select checkbox. c. DUNS Number: Enter DUNS number (9-13 alphanumeric). d. NEPOOL ID: Enter NEPOOL ID. e. Parent Company Name and Company/Account Name: Data entry for these fields are optional for NEPOOL Members. 15 NEPOOL GIS User Guide

16 4. In the GIS-Specific Contact Info section, enter data into all fields denoted with an asterisk. 5. Click the Submit for Approval to register the new account. 16 NEPOOL GIS User Guide

17 Note: An account activation will be sent to the registered under the GIS-Specific Contact Info section to Activate account. Please see Section D for instructions on how to activate a new GIS account. Non-NEPOOL Member To Register a new Non-NEPOOL GIS account, User takes the following steps: 1. Go to 2. Under the Registry Login box, click the Register button as shown below: 3. In the New Account Application page, enter data into all fields denoted with an asterisk. a. Account Type: Select the account type checkbox(es). (See Section B for more information) b. Parent Company Name: Data entry in this field is optional. c. Company/Account Name: Enter the Company/Account Name 17 NEPOOL GIS User Guide

18 4. In the GIS-Specific Contact Info section, enter data into all fields denoted with an asterisk. 5. Click the Submit for Approval button to register the new account. 18 NEPOOL GIS User Guide

19 6. Review Non-NEPOOL Participant Account Holder Agreement and check the I Agree checkboxes. 7. Enter First and Last Name and Title and click the I Agree button to submit the Non-NEPOOL Participant Account Holder Agreement. 19 NEPOOL GIS User Guide

20 Note: An account activation will be sent to the registered under the GIS-Specific Contact Info section to Activate account. Please see Section D for instructions on how to activate a new GIS account. 20 NEPOOL GIS User Guide

21 D. Activate Account After User registers a GIS account, the User identified as the GIS-Specific Contact takes the following steps to activate a new GIS Account. 1. Check for an with the subject NEPOOL GIS Account created 2. Review the and click on the hyperlink provided in the In the Activate Account page, enter the account Login Name and Password for the new account. 21 NEPOOL GIS User Guide

22 4. Click the Activate button to activate the account. Note: GIS Administrator will be notified after an Account Registration has been activated. GIS Administrator verifies the GIS account registration and approves the GIS account. Users cannot log into NEPOOL GIS until the account has been approved by a GIS Administrator. 22 NEPOOL GIS User Guide

23 NEPOOL GIS Project Registration Users can only register NEPOOL GIS (GIS) projects only if they have an approved GIS account. Projects are not approved in GIS until a project receives RPS Certification from a NEPOOL state. To explore different RPS/RES Program Information, review Qualified RPS resources, and contact State Regulatory Agency, Users can view the State Program Information page ( on the GIS Information Website for more information. This section outlines the steps for how to register a new project in NEPOOL GIS (GIS) and focuses on the following areas: GIS Project Registration Process Overview GIS Project Types Non-NEPOOL Generator Project Registration Process NEPOOL Generator (MSS Project) Project Registration A. GIS Project Registration Process Overview Below is the GIS Project Registration process: Register Project/Asset Log into GIS account Register Asset Apply for State Certification Apply for certification with the State (Eligible State include CT, MA, ME, NH, RI and VT) Send documentation to GIS for approval Document Approval GIS administrator reviews and approves project 23 NEPOOL GIS User Guide

24 B. GIS Project Types Below are the different GIS Project Types. Additional information for each project type can be found in the NEPOOL GIS Operating Rules Market Support Services (MSS) Generator Projects that are located in the ISO-NE s Settlement Market System. See Rule 2.1 (a)(i) of the GIS Operating Rules for more information. Non-NEPOOL Generator- Behind-the-meter projects with a nameplate capacity of 5MW or less that do not provide any metering data to MSS. See Rule 2.1(a)(ii) of the GIS Operating Rules for more information. C&LM Generator (Admin Only)- Conservation and Load Management generator registered by the GIS administrator. See Rule 2.1(a)(iv) of the GIS Operating Rules for more information. DR Generator Curtailment-based demand response resources which participate in the ISO s Load Response Program. See Rule 2.1(a)(v) of the GIS Operating Rules for more information. C. Non-NEPOOL Generator Project Registration Process To Register a new Non-NEPOOL project, User takes the following steps: 6. In the Account Dashboard, locate the Asset Management module. 7. Under the Asset Management module, click on the Register Non-Nepool Generator hyperlink as pictured below: 24 NEPOOL GIS User Guide

25 8. In the New Generator Information page, enter data into all fields denoted with an asterisk. 25 NEPOOL GIS User Guide

26 9. Click the Next button to go to the next page. 10. In the second page of the New Generator Application, leave all the RPS Certification checkboxes blank and select an Independent Verifier from the Independent Verifier drop down. 11. Click on the Submit for Approval button to register the new project. Note: A Unit ID will be created once the project is registered. User can view the Unit ID by going back to the Asset Management module. Projects will be in a Pending status until a GIS Administrator reviews and approve the project. GIS Administrator requires State RPS certification in order to approve a GIS project. 26 NEPOOL GIS User Guide

27 D. NEPOOL Generator (MSS Project) Project Registration NEPOOL Generator data are imported into GIS via ISONE monthly files. New NEPOOL Generators are displayed in Need Info Status under the Asset Management module. User takes the following steps to complete the project registration for NEPOOL Generator(s). 1. In the Account Dashboard, locate the Asset Management module. 2. Under the Asset Management module, click on the project hyperlink under the Plant Unit column as pictured below: 3. In the Generator Information page, enter data into all fields denoted with an asterisk. 27 NEPOOL GIS User Guide

28 28 NEPOOL GIS User Guide

29 4. Click the Next button to go to the next page. 5. In the second page of the New Generator Application, leave all the RPS Certification checkboxes blank. 6. Click on the Submit for Approval button to register the new project. Note: Projects will be in a Pending status until a GIS Administrator reviews and approve the MSS project. GIS Administrator requires State RPS certification in order to approve a GIS project. 29 NEPOOL GIS User Guide

30 NEPOOL GIS Generation Data Loading Generation data in GIS can either be self-reported or uploaded by an approved Independent Verifier based on RPS state approvals. This section outlines the steps for how to report generation data to NEPOOL GIS and focuses on the following areas: Self-Report Generation Data Report Generation Data by an Independent Verifier Enter Generator Emissions Data ISO-NE Settlement Data Upload A. Self-Report Generation Data For generators that are qualified to self-report generation data in GIS, User takes the following steps: 1. In the Account Dashboard, locate the Asset Management module. 2. Under the Asset Management module, click the corresponding hyperlinked month and year under the Modify Generation/Emissions column. 3. Select the appropriate Year and Month from the drop-downs. 30 NEPOOL GIS User Guide

31 4. Enter the monthly generation under the Generation (MWh) column and emissions (if applicable) under each corresponding emission columns. 31 NEPOOL GIS User Guide

32 Note: Generators located in New England will report gross monthly emissions output and Import generators will report emissions in lbs./mwh. 5. Click the Save button to report monthly generation data. 32 NEPOOL GIS User Guide

33 B. Report Generation Data by an Independent Verifier Independent Verifiers are assigned to projects through the project registration screen and approved based on RPS state approvals. Once an independent verifier is selected and the project is approved in GIS, the Independent Verifier begins uploading monthly generation data for projects. To upload GIS generation data, the Independent Verifier takes the following steps: 1. Create a.txt or.csv monthly file for Generation Data Upload. The fields in the Generation Data Batch Upload must contain: a. GIS ID number (NON prefix removed) b. Month/Year (MM/YYYY format) c. Total MWh Note: The monthly generation data file may contain multiple unit ids. MWh data can be loaded out to the thousandth decimal place. Any fractional MWh data will be carried over and applied to the subsequent generation month. 2. Go to the Meter Upload module, under the Month/Year drop-down, select the month and year, and click the Choose File button to locate the file. 3. Click the Upload button to upload the monthly generation data file. Note: If there are any issues with the data in the upload file, the file will not be uploaded. 33 NEPOOL GIS User Guide

34 4. After clicking the Upload button, a confirmation screen will appear to display and confirm the results of the upload. 34 NEPOOL GIS User Guide

35 C. Enter Generator Emissions Data Generating units with fuel/technology types other than Hydro, Geothermal, Nuclear, Ocean, Solar, Wind, Flywheel or Thermal are required to enter emissions into NEPOOL GIS. To enter emissions, User takes the following steps: 1. In the Account Dashboard, locate the Asset Management module. 2. Under the Asset Management module, click the corresponding hyperlinked month and year under the Modify Generation/Emissions column. 3. Select the appropriate Year and Month from the drop-downs. 35 NEPOOL GIS User Guide

36 4. Verify the monthly generation under the Generation (MWh) column and enter emissions under each corresponding emission columns. 36 NEPOOL GIS User Guide

37 Note: Generators located in New England will report gross monthly emissions output and Import generators will report emissions in lbs./mwh 5. Click the Save button to save emissions entry. D. ISO-NE Settlement Data Upload All ISO-NE generation settlement data is uploaded into the NEPOOL GIS monthly on or around the 15th of every month after the month the generation occurred. For MSS meter data inquiries, please reach out to the ISO-NE Customer Support at (413) NEPOOL GIS User Guide

38 NEPOOL GIS Certificate Transfers to Another Account Holder GIS Certificates can only be transferred after Certificates are issued and during an opened trading period. NEPOOL GIS dates can be found by clicking on the following link. This section outlines the steps for how to transfer Certificates to another Account Holder in NEPOOL GIS (GIS) and focuses on the following areas: View Active Certificates Transfer Certificates to Another Account Holder Accept Certificate Transfer Reject Certificate Transfer Withdraw Certificate Transfer A. View Active Certificates To view Active Certificates available for transfer, User takes the following steps: 1. In the Account Dashboard, User locates the Account Status module. 2. Under the Account Summary module, User clicks on a hyperlink under Account Activity as pictured below to view Certificate inventory in the specific page of the clicked hyperlink. 38 NEPOOL GIS User Guide

39 B. Transfer Certificates to Another Account Holder To initiate a GIS Certificate Transfer to Another Account Holder, User takes the following steps: 1. Log in to NEPOOL GIS. 2. In the Account Dashboard, User clicks on the Transfer option from the menu bar as shown below: 3. In the Select Batch Criteria section on the left pane, User selects Another Account Holder from the Transfer Type drop-down. The dynamic Selection Criteria is driven off of the transfer type selection. 39 NEPOOL GIS User Guide

40 4. Under the Account Holder drop-down in the Select Batch Criteria section, User selects the Account Holder that will be receiving the Certificates. Note: A search box is displayed in the drop-down to allow users to type in the account holder name from the drop-down to narrow down the Account Holder list. 5. Under the Eligibility Search drop-down in the Select Batch Criteria section, User selects an eligibility search option. a. Selected + Others Searches for certificate holdings that have all the selected and zero or more other eligibilities. b. Selected Only Searches for certificate holdings that have only the selected eligibilities. c. At Least One Searches for certificate holding that have at least one selected eligibility and zero or more other eligibilities 40 NEPOOL GIS User Guide

41 6. Select additional batch criteria under the remaining optional fields Vintage Month, Eligibility, Fuel Type, Project, Status, and/or Add Transfer quantity. 41 NEPOOL GIS User Guide

42 Note: In the Transfer Quantity field of the selection criteria, User can enter the total number of RECs to transfer without having to manually select the batch(es) in the right pane. 7. Once all the options are selected, User clicks on the View Certificates button to populate the requested data on the right pane. 42 NEPOOL GIS User Guide

43 8. After clicking the View Certificates button, the right pane populates the data result based on the options selected in the Select Batch Criteria. Note: If Transfer Quantity was entered in the selection criteria, the Transfer Quantity column displays selected REC quantities for batches up to the quantity entered. 43 NEPOOL GIS User Guide

44 9. In the Select Your Certificates section on the right pane, User either clicks Select All button to select all the Certificates or enters in the specific quantity to transfer for each batch under the Transfer Quantity column. Note: Clicking the Select All or Clear All buttons only impacts the REC batches on the current page. User can select or clear additional batches from multiple pages on the right pane. 44 NEPOOL GIS User Guide

45 10. User clicks the Transfer button to execute Certificate transfer to the designated Account Holder selected from the selection criteria. Note: After initiating a Certificate transfer to another Account Holder, automated s are sent to both Transferor and Transferee. The transferred Certificates are marked as Pending in the Transferor s Outbox until the Transferee either accepts or rejects the Certificate transfer. If the Transferee rejects the Certificate transfer, the Certificates will be returned to the Transferor s account. If the Transferee does not accept the Certificate transfer by the end of the respective quarter s trading period, the Certificate will be returned to the Transferor s account. C. Accept Certificate Transfer Once a REC transfer is initiated by the Transferor, the Transferee reviews the Inbox module to accept or reject the new REC Transfer requests. To accept a REC Transfer, the Transferee takes the following steps: 1. In the Account Dashboard, locate the Inbox module. 2. Under the Inbox module, click the quantity hyperlink under Pending Certificates. 45 NEPOOL GIS User Guide

46 3. Select the checkbox(es) under the Select All column and click the Confirm button to accept the selected REC transfer(s) or click on the Confirm All button to accept all REC Transfers in the Inbox. 46 NEPOOL GIS User Guide

47 4. Click the OK button to confirm the selection. 5. In the Transfer Confirmation screen, select the Sub-Account where the accepted RECs are to be deposited. 6. Click the Accept button to confirm the location where the RECs will be deposited. 47 NEPOOL GIS User Guide

48 7. Transferor and Transferee will be notified via of the confirmed REC Transfer. D. Reject Certificate Transfer Once a REC transfer is initiated by the Transferor, the Transferee reviews the Inbox module to accept or reject the new REC Transfer requests. To reject a REC Transfer, the Transferee takes the following steps: 1. In the Account Dashboard, locate the Inbox module. 2. Under the Inbox module, click the quantity hyperlink under Pending Certificates. 48 NEPOOL GIS User Guide

49 3. Select the checkbox(es) under the Select All column and click the Reject button to reject the selected REC transfer(s) or click on the Reject All button to reject all REC Transfers in the Inbox. 49 NEPOOL GIS User Guide

50 4. Click the OK button to confirm the selection. 5. The rejected RECs will be returned to the Transferor s GIS account. The Transferor and Transferee will be notified via of the rejected REC Transfer. E. Withdraw Certificate Transfer Once a REC transfer is initiated by the Transferor, the Transferor can withdraw the transferred RECs only if the RECs are still in Pending status. Below are the steps to withdraw a REC transfer. 1. In the Account Dashboard, locate the Outbox module. 2. Under the Outbox module, click the quantity hyperlink under Pending Certificates. 50 NEPOOL GIS User Guide

51 3. Select the checkbox(es) under the Select All column and click the Withdraw button to withdraw the selected REC transfer(s) or click on the Withdraw All button to withdraw all REC Transfers in the Outbox. 51 NEPOOL GIS User Guide

52 4. Click the OK button to confirm the selection. 5. The withdrawn RECs will be returned to the Transferor s GIS account. The Transferor and Transferee will be notified via of the withdrawn REC Transfer. 52 NEPOOL GIS User Guide

53 NEPOOL GIS Retirement This section outlines the steps for how to retire Certificates in NEPOOL GIS (GIS) and focuses on the following areas: Retire Certificates for RPS Compliance Retire Certificates for General Purposes A. Retire Certificates for RPS Compliance Users may transfer Certificates in and out of a Retail Sub-Account at any time during an active trading period. Certificates will permanently retire in the Sub Account at the end of an active trading period. Below is the process to retire Certificates for RPS Compliance. Create a Compliance Sub-Account To create a new Compliance Sub-Account, please take the following steps: 1. In the Account Dashboard, locate the Account Status module. 2. Under the Account Status module, click on the Create New Subaccount hyperlink. 3. In the New Sub-Account page, enter data into the new Sub-Account fields. 53 NEPOOL GIS User Guide

54 4. Click on the Save button to create new Sub-Account. Assign Load Obligation To assign Load Obligation, please take the following steps: 1. In the Account Dashboard, locate the Account Status module. 2. Under the Account Status module, click on the Assign Obligations hyperlink. 3. In the Assign Obligations to Subaccounts page, enter the Obligation amount for each Subaccount. 54 NEPOOL GIS User Guide

55 Note: The Obligation assignment must equal the Total Obligation amount. 4. Click the Save button to complete Load Obligation assignments. Transfer Certificates to a Retail Sub-Account for Compliance Purposes Users may transfer Certificates in and out of a Retail Sub-Account at any time during an active trading period. Certificates will permanently retire in the Sub Account at the end of an active trading period. To initiate transfer of GIS Certificates to a Retail Sub-Account for compliance retirements, the User takes the following steps: 55 NEPOOL GIS User Guide

56 1. Log in to NEPOOL GIS. 2. In the Account Dashboard, User clicks on the Transfer option from the menu bar as shown below: 3. In the Select Batch Criteria section on the left pane, User selects Retail SubAccount under the Transfer Type drop-down. 4. Under the Retail SubAccount drop-down in the Select Batch Criteria section, User selects the Retail SubAccount where the RECs will be retired. 56 NEPOOL GIS User Guide

57 5. Under the Eligibility Search drop-down in the Select Batch Criteria section, User selects an eligibility search option. a. Selected + Others Searches for certificate holdings that have all the selected and zero or more other eligibilities. b. Selected Only Searches for certificate holdings that have only the selected eligibilities. c. At Least One Searches for certificate holding that have at least one selected eligibility and zero or more other eligibilities 57 NEPOOL GIS User Guide

58 6. Select additional batch criteria under the remaining optional fields Vintage Month, Eligibility, Fuel Type, Project, Status, and/or Add Transfer quantity. 58 NEPOOL GIS User Guide

59 Note: In the Transfer Quantity field of the selection criteria, User can enter the total number of RECs to transfer without having to manually select the batch(es) in the right pane. 7. Once all the options are selected, User clicks on the View Certificates button to populate the requested data on the right pane. 8. After clicking the View Certificates button, the right pane populates the data result based on the options selected in the Select Batch Criteria. 59 NEPOOL GIS User Guide

60 Note: If Transfer Quantity was entered in the selection criteria, the Transfer Quantity column displays selected REC quantities for batches up to the quantity entered. 9. In the Select Your Certificates section on the right pane, User either clicks Select All button to select all the Certificates or enters in the specific quantity to transfer for each batch under the Transfer Quantity column. 60 NEPOOL GIS User Guide

61 Note: Clicking the Select All or Clear All buttons only impacts the REC batches on the current page. User can select or clear additional batches from multiple pages on the right pane. 10. User clicks the Transfer button to execute Certificate transfer to the Retail SubAccount. 61 NEPOOL GIS User Guide

62 11. A pop-up box will display to confirm that the RECs have been successfully transferred to the Retail SubAccount. Note: Users may transfer Certificates in and out of a Retail Sub-Account at any time during an active trading period. Certificates will permanently retire in the Sub Account at the end of an active trading period. B. Retire Certificates for General Purposes In GIS, the Reserve Sub-Account is used to retire Certificates for General or Voluntary purposes. Certificates can be Reserved representing transactions of Certificates with Third Parties, unrelated to NEPOOL, or for a company s own personal reason. A transaction of this type represents the ability for a GIS User to transact a NEPOOL GIS Certificate outside of the GIS system. Users may transfer Certificates in and out of a Reserve Sub-Account at any time during an active trading period. Certificates will permanently retire in the Reserve Sub-Account at the end of an active trading period. To initiate transfer of GIS Certificates to a Reserve Sub-Account, the User takes the following steps: 1. Log in to NEPOOL GIS. 2. In the Account Dashboard, User clicks on the Transfer option from the menu bar as shown below: 3. In the Select Batch Criteria section on the left pane, User selects Reserve Sub-Account under the Transfer Type drop-down. 62 NEPOOL GIS User Guide

63 4. Under the Eligibility Search drop-down in the Select Batch Criteria section, User selects an eligibility search option. a. Selected + Others Searches for certificate holdings that have all the selected and zero or more other eligibilities. b. Selected Only Searches for certificate holdings that have only the selected eligibilities. c. At Least One Searches for certificate holding that have at least one selected eligibility and zero or more other eligibilities 63 NEPOOL GIS User Guide

64 5. Select additional batch criteria under the remaining optional fields Vintage Month, Eligibility, Fuel Type, Project, Status, and/or Add Transfer quantity. 64 NEPOOL GIS User Guide

65 Note: In the Transfer Quantity field of the selection criteria, User can enter the total number of RECs to transfer without having to manually select the batch(es) in the right pane. 6. Once all the options are selected, User clicks on the View Certificates button to populate the requested data on the right pane. 7. After clicking the View Certificates button, the right pane populates the data result based on the options selected in the Select Batch Criteria. 65 NEPOOL GIS User Guide

66 Note: If Transfer Quantity was entered in the selection criteria, the Transfer Quantity column displays selected REC quantities for batches up to the quantity entered. 8. In the Select Your Certificates section on the right pane, User either clicks Select All button to select all the Certificates or enters in the specific quantity to transfer for each batch under the Transfer Quantity column. 66 NEPOOL GIS User Guide

67 Note: Clicking the Select All or Clear All buttons only impacts the REC batches on the current page. User can select or clear additional batches from multiple pages on the right pane. 9. In the Additional Transfer Attributes section, enter data in the available fields: a. Transferee/Reason Reason for retirement b. Voluntary Yes or No c. Retirement State (Optional) 67 NEPOOL GIS User Guide

68 10. User clicks the Transfer button to execute Certificate transfer to the Reserve Sub-Account. 11. A pop-up box will display to confirm that the RECs have been successfully transferred to the Reserve Sub-Account. 68 NEPOOL GIS User Guide

69 NEPOOL GIS Forward Certificate Transfers Once GIS projects are approved, Users can set-up Forward Certificate Transfers to automatically transfer issued RECs from their project(s) to their counterparty s GIS account when a Trading Period is opened. This section outlines the requirements and steps for how to establish and manage Forward Certificates Transfers in NEPOOL GIS (GIS) and focuses on the following areas: Forward Certificate Transfer Process Description of the Forward Certificate Transfer fields Create a New Forward Certificate Transfer Approve/Reject a Forward Certificate Transfer Request Check the Status of a Forward Certificate Transfer Modify an existing Forward Certificate Transfer A. Forward Certificate Transfer Process Below is the process flow of the Forward Certificate Transfer process: 69 NEPOOL GIS User Guide

70 B. Description of the Forward Certificate Transfer Fields Below is the description of each of field in the Forward Certificate Transfer page: Forward Certificate Name/Alias: Transferor assigned name for the scheduled forward certificate transfer viewable by both the transferee and transferor. Receiving Account Holder: The account in which the certificates will be deposited, the transferee. Begin Vintage: The first generation month and year to be transferred to the transferee. End Vintage: The last generation month and year to be transferred to the transferee. Priority: Each forward certificate transfers name can be assigned a priority, with 1 having top priority over all subsequent forward certificate transfers. In the event a forward certificate transfer with a higher priority transfers the full set of available certificates, any lower priority forward transfers will fail. By default the system applies a 0 priority, meaning no priority. All or Nothing: Requires the full quantity of certificates to be available for transfer if the Monthly Fixed Amount method is used or forward certificate will fail. Example: 100 certificates entered into the Monthly Fixed Amount field, 95 certificates available for transfer, the forward certificate transfer will fail. Partial Fill: If the Monthly Fixed Amount method is used and the full quantity of certificates is not available for transfer, the quantity available will be transferred. Example: 100 certificates entered into the Monthly Fixed Amount field, 95 certificates available for transfer, 95 certificates will transfer. Note/Transferee: Optional description of the forward certificate terms to be entered by the transferor and viewable by both the transferor and transferee. Show Import Generators/Show My Generators: This button can be used to toggle between viewing the transferor s approved generators or a list of approved import generators. By default, the transferor s generators are displayed. Monthly Percentage: A percentage applied to the monthly certificate output to be transferred. Monthly Fixed Amount: A fixed monthly whole number value of certificates to be transferred. Selection of this box will block all capability to rescind, edit or change this Forward certificate: If selected, only the NEPOOL GIS administrator will have the ability to modify the scheduled transfer, contingent on confirmation from both the transferor and transferee. 70 NEPOOL GIS User Guide

71 C. Create a New Forward Certificate Transfer Once projects are approved in GIS, Transferors can create Forward Certificate Transfers by taking the following steps: 1. In the Account Dashboard, locate the Asset Management module. 2. Under the Asset Management module, click on the Create Forward Certificate hyperlink as pictured below: 71 NEPOOL GIS User Guide

72 3. In the New Forward Certificate Transfer screen, enter data into all required fields on the form denoted with an asterisk. 4. Under the Generator s table, enter either the Monthly Percentage of Monthly Fixed Amount for each generator that is part of the Forward Certificate Transfer. 72 NEPOOL GIS User Guide

73 5. For Irrevocable Forward Certificate Transfers, check the checkbox Selection of this box will block all capacity to rescind, or edit this Forward Certificate. 6. Click on the Save button to create a new Forward Certificate Transfer. Note: After a new Forward Certificate Transfer is created, the Forward Certificate Transfer will be in a Pending status until the Transferee accepts/rejects the Forward Certificate Transfer. Both the Transferor and Transferee will receive an notification regarding the Forward Certificate Transfer. 73 NEPOOL GIS User Guide

74 D. Approve/Reject a Forward Certificate Transfer Once the Forward Certificate transfer is initiated by the Transferor, the Transferee reviews the Forward Certificate Transfer Inbox module to review new Forward Certificate Transfer requests. Approve Forward Certificate Transfer To approve a Forward Certificate Transfer, the Transferee takes the following steps: 1. In the Account Dashboard, locate the Forward Certificate Transfer Inbox Module. 2. Click the Accept hyperlink under the Accept column to effectuate the Forward Certificate Transfer. Note: Approved Forward Certificate Transfers will process on the appropriate certificate issuance date for the approved vintages. For example, January and February 2018 Forward Certificate Transfers will process on July 15, Click the OK button to confirm the selection. 74 NEPOOL GIS User Guide

75 4. Transferor and Transferee will be notified via of the new status of the Forward Certificate Transfer. Reject Forward Certificate Transfer To reject a Forward Certificate Transfer, the Transferee takes the following steps: 1. In the Account Dashboard, locate the Forward Certificate Transfer Inbox Module. 2. Under the Forward Certificate Transfers table, click the Reject hyperlink under the Reject column to decline the Forward Certificate Transfer. 3. Click the OK button to confirm the selection. 75 NEPOOL GIS User Guide

76 4. Transferor and Transferee will be notified via of the new status of the Forward Certificate Transfer. E. Check the Status of a Forward Certificate Transfer The Transferor can view and check on the status of their Forward Certificate Transfers by taking the following steps: 1. In the Account Dashboard, locate the Asset Management Module. 2. Click the hyperlink View All Forward Certificates. 3. Click on a tab at the top of the table to navigate between specific Forward Certificate Transfer statuses. 76 NEPOOL GIS User Guide

77 4. View Forward Certificate Transfer information on the Forward Transfers table or click on the hyperlink under the Transfer Name/Alias column to view Forward Certificate Transfer details. F. Modify a Forward Certificate Transfer User can modify an existing Forward Certificate Transfer at any time only if the Rescindable column is marked Yes. If the 'Rescindable' column is marked 'No', Transferor must receive confirmation from Transferee to update the Forward Certificate Transfer and work with APX GIS Administrator to make the update. Below are the steps to modify an existing Forward Certificate Transfer: 77 NEPOOL GIS User Guide

78 1. In the Account Dashboard, User locates the Asset Management Module. 2. Click the hyperlink View All Forward Certificates. 3. Click on a tab at the top of the table to navigate between specific Forward Certificate Transfers statuses. 4. Click on the hyperlink under the Transfer Name/Alias column to view Forward Certificate Transfer details. 78 NEPOOL GIS User Guide

79 5. In the Edit Forward Certificate Transfer page, modify the details of the Forward Certificate Transfer. 79 NEPOOL GIS User Guide

80 6. Click the Save button to resubmit the Forward Certificate Transfer request. 80 NEPOOL GIS User Guide

81 Note: After an existing Forward Certificate Transfer is modified, the Forward Certificate Transfer will be in a Pending status until the Transferee accepts/rejects the Forward Certificate Transfer. Both the Transferor and Transferee will receive an notification regarding the Forward Certificate Transfer. 81 NEPOOL GIS User Guide

82 NEPOOL GIS Bulletin Board User Guide This section outlines the steps for how to use the NEPOOL GIS (GIS) Bulletin Board and focuses on the following areas: Buying Certificates in GIS Selling Certificates in GIS View Offered/Requested Certificates on the Bulletin Board A. Buying Certificates in GIS A User can post an interest to purchase GIS Certificates by taking the following steps: 3. In the GIS Account Dashboard, click on the My Requested Certificates hyperlink located under the Account Status Module. 4. In the My Requested Certificate page, click on the Add New button. 82 NEPOOL GIS User Guide

83 5. Complete the form and submit by clicking the Add button. 6. The My Requested Certificate page will display the requested certificate listings. The listing can be edited from the Bulletin Board by selecting the Edit hyperlink or cancelled at any time by clicking on the Delete hyperlink. 83 NEPOOL GIS User Guide

84 B. Selling Certificates in GIS NEPOOL GIS provides the Bulletin Board Subaccount where the User may post Certificates available to purchase. To post available Certificates to the Bulletin Board, the User takes the following steps: 5. Log in to NEPOOL GIS. 6. In the Account Dashboard, User clicks on the Transfer option from the menu bar as shown below: 7. In the Select Batch Criteria section on the left pane, User selects Bulletin Board from the Transfer Type drop-down. The dynamic Selection Criteria is driven off the transfer type selection. 84 NEPOOL GIS User Guide

85 8. Under the Eligibility Search drop-down in the Select Batch Criteria section, User selects an eligibility search option. a. Selected + Others Searches for certificate holdings that have all the selected and zero or more other eligibilities. b. Selected Only Searches for certificate holdings that have only the selected eligibilities. c. At Least One Searches for certificate holding that have at least one selected eligibility and zero or more other eligibilities 85 NEPOOL GIS User Guide

86 9. Select additional batch criteria under the remaining optional fields Vintage Month, Eligibility, Fuel Type, Project, Status, and/or Add Transfer quantity. 86 NEPOOL GIS User Guide

87 Note: In the Transfer Quantity field of the selection criteria, User can enter the total number of RECs to transfer without having to manually select the batch(es) in the right pane. 10. Once all the options are selected, User clicks on the View Certificates button to populate the requested data on the right pane. 11. After clicking the View Certificates button, the right pane populates the data result based on the options selected in the Select Batch Criteria. 87 NEPOOL GIS User Guide

88 Note: If Transfer Quantity was entered in the selection criteria, the Transfer Quantity column displays selected Transfer quantities for batches up to the quantity entered. 88 NEPOOL GIS User Guide

89 12. In the Select Your Certificates section on the right pane, User either clicks Select All button to select all the Certificates or enters in the specific quantity to transfer for each batch under the Transfer Quantity column. Note: Clicking the Select All or Clear All buttons only impacts the Certificate batches on the current page. User can select or clear additional batches from multiple pages on the right pane. 89 NEPOOL GIS User Guide

90 13. User clicks the Transfer button to execute Certificate transfer to the Bulletin Board. 14. The Certificates transferred to the Bulletin Board will be located in the Account Holder s Bulletin Board located under the Account Status Module. 15. The Certificates posted to the Bulletin Board can be viewed by all GIS Users and visitors under the Bulletin Board Report located in the Public Reports. 90 NEPOOL GIS User Guide

91 91 NEPOOL GIS User Guide

92 C. View Offered/Requested Certificates on the Bulletin Board To view offered/requested Certificates on the Bulletin Board, a User takes the following steps: 1. Log into NEPOOL GIS. 2. In the Account Dashboard, the User clicks on the Reports option from the menu bar and click on the Bulletin Board report hyperlink located under Public Report as shown below: 3. In the Bulletin Board report, the User selects either Offered or Requested from the Offered/Requested drop-down and clicks on the View Report button to view the Bulletin Board selection. 92 NEPOOL GIS User Guide

93 4. Interested Users can contact the seller or buyer directly using the contact information supplied with each post. 93 NEPOOL GIS User Guide

94 This section outlines the steps for how to navigate the NEPOOL GIS (GIS) Reports and focuses on the following areas: View GIS Report Download GIS Report A. View GIS Report To view a GIS Report, the User takes the following steps: 7. In the GIS Account Dashboard, locate the Menu Bar on the top right of the GIS screen. 8. Click on the Reports button on the Menu Bar and select a specific GIS Report to view. Notes: GIS Reports are available based on the GIS Account s Account Type. 9. Enter the required report parameters on top of the report. 94 NEPOOL GIS User Guide

95 10. Click on the View Report button to view the report. 11. The report displays data results based on the parameters entered. 95 NEPOOL GIS User Guide

96 B. Download the GIS Reports To download a GIS report, the User takes the following steps: 16. In the report, click on the Export icon and select the specific available file format. 17. Download report to a specific folder in the computer. 96 NEPOOL GIS User Guide

97 NEPOOL GIS Generator/Load Asset Redirect User Guide This section outlines the steps on how to transfer a GIS Generator or a GIS Load Asset from one GIS account to another GIS account in NEPOOL GIS. A. Initiate a Generator/Load Asset Redirect Request To initiate a Generator/Load Asset Redirect Request, the requestor takes the following steps: 1. Identify the project information for the generator or load asset that needs to be transferred or fill out the Generator Redirect Request form. Please identify the Project being transferred (Link to GIS Generators): o o Unit ID (Required): Plant Unit Name: Is the asset part of an aggregated project in NEPOOL GIS? o Yes, No, or Not Sure Please Identify the new Project Owner (Link to GIS Account Holders): o Project ownership will be transferred to this GIS Account Holder Name (Required): o Transfer to GIS Account Holder ID (if available): o Contact Name and/or (if available): What is the Effective Generation month for this change (Required)? o For example, what will be First Vintage of RECS issued to the new Project Owner? Additional Information (Optional): o o Who is current Project Owner? What is the size of Project? 97 NEPOOL GIS User Guide

98 o o Are there any existing Forward Certificate Transfers (FTC)? What state eligibilities does the Project currently have approved? Note: Load Assets CAN ONLY be transferred between NEPOOL Member accounts in GIS. 2. The requestor reaches out to the GIS Administrator via GIS@APX.com or by phone (408) and provides the GIS Administrator with the redirect transfer request information. 3. The GIS Administrator reviews the redirect transfer request and coordinates with both parties to confirm the redirect request. The Unit ID that will be transferred. The receiving NEPOOL GIS account (Including Company ID) The effective date (I.E. first vintage that will issue to new Generator Owner). 4. Once the redirect transfer details are confirmed, the GIS administrator processes the redirect transfer request in GIS and confirms with both parties that the redirect transfer request has been processed. 5. If the GIS administrator is unable to reach the other transfer party, then it is requester's responsible for reaching out to them to obtain consent and forward the response to the GIS administrator. 98 NEPOOL GIS User Guide